Georgia Mason

Risk & Compliance AssociateLondon, UK (Hybrid)A fast-growing FinTech company is seeking a Risk & Compliance Associate to join its dynamic team. The role offers hands-on exposure to regulatory processes and business operations, supporting the company’s mission to transform personal financial management through technology and behavioural insights. Key ResponsibilitiesMonitor regulatory developments and support communications with the Financial Conduct Authority (FCA).Prepare and submit regulatory reports in line with FCA requirements and other applicable regulatory frameworks.Maintain and enhance risk and compliance recordkeeping using SaaS tools and emerging technologies.Lead internal assurance reviews across various business areas.Support Anti-Money Laundering (AML) and Know Your Customer (KYC) processes.Generate and analyse compliance reports using databases (including simple SQL queries).Requirements1–4 years of experience in an FCA-regulated environment.Solid understanding of UK financial products, services, and regulatory landscape (including MIFID)A minimum 2:1 degree with strong academic performance.Comfortable with numerical analysis and database tools.Keen to work with technology, including compliance-related SaaS and automation tools.

Risk and Compliance Manager – Investment Management & WealthLocation: London (Hybrid working available)Join a fast-growing Risk & Compliance Advisory team at a big 4 global consultancy. You'll work at the forefront of the Investment Management & Wealth sector, supporting major clients as they navigate regulatory change, operational risk, and compliance challenges. This is a unique opportunity to help shape industry-leading solutions while developing your own career in a flexible, collaborative environment. Key Responsibilities:Advise clients on risk and regulatory matters across the sector.Analyse upcoming regulatory developments and assess impact on clients.Design and implement effective risk and control frameworks.Contribute to thought leadership, market propositions, and industry forums.Support business development and help grow the practice.Requirements:Proven experience in risk, compliance, or regulatory advisory within Investment Management or Wealth/ Platform (consulting, in-house, or regulatory).Strong understanding of UK and/or EU financial regulations relevant to investment firms, fund managers, or wealth managers.Practical experience designing and implementing risk frameworks.Excellent communication and stakeholder management skills.Entrepreneurial mindset with a focus on delivering quality and creating value.

Head of Compliance Location: London (Hybrid) A fast-growing fintech is looking for an experienced Head of Compliance to lead its second-line function and oversee a range of FCA-regulated products. Reporting to the Risk & Compliance Director (SMF16), you’ll work closely with cross-functional teams to embed a pragmatic, customer-first approach to compliance.What You’ll Do:Lead and develop the Compliance team, fostering a collaborative and inquisitive culture.Oversee compliance monitoring, advisory, regulatory change, training, and reporting.Shape and continuously improve how compliance operates across the business.Provide timely, practical regulatory advice to senior stakeholders and product teams.Own compliance reporting to senior leadership, including ExCo and the Board.Stay on top of regulatory developments and ensure the business is ready for change.What You’ll Bring10+ years’ experience in financial services, ideally within investments or fintech.Deep knowledge of FCA regulations, including regulatory perimeter, threshold conditions, and governance.Proven leadership of compliance teams in fast-paced, cross-functional environments.A pragmatic, clear communicator who can cut through complexity and influence at all levels.

Senior Compliance Advisory OfficerLocation: London – HybridA leading global provider of asset management and investment solutions is seeking an experienced Senior Compliance Manager who will support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.Key Responsibilities:Provide regulatory compliance advice to asset management and investment business units, ensuring adherence to FCA rules (including CASS, SMCR, Consumer Duty, and Market Abuse) and MiFID requirements.Review and advise on financial promotions and marketing materials to ensure compliance with UK and EU regulations.Monitor regulatory developments, assess impact on the business, and support implementation of new compliance requirements.Draft, review, and update internal compliance policies and procedures in line with evolving regulatory expectations.Support senior compliance leadership and represent the Compliance function in business and governance meetings, contributing to effective oversight and risk management.Skills & Knowledge:8+ years' advisory compliance experience in wealth or investment managementStrong knowledge of FCA regulations (MIFID, CASS, SMCR, consumer duty, market abuse, trade surveillance, conflict of interest)Strong ability to communicate with regulators and senior stakeholders

Job Title: Data Privacy Manager (EMEA) Location: London, UK Hybrid – 3 days in officeExciting Opportunity to join a Global Financial Services Firm within their global privayc team. Looking for a Date Privacy Manager to support with the delivery of the privacy program, drive data gocernance compliance and implment privacy and governance practices. This role sits within the global privacy team covering EMEA.Responsibilities:Lead and manage data privacy and governance operations across EMEA.Serve as the regional privacy expert and point of contactEnsure compliance with regional and global privacy laws and standardsConduct and manage DPIAs, DSARs, data mapping, and incident responseDeliver privacy training and raise awareness across the regionOversee third-party vendor privacy assessmentsUse OneTrust to manage privacy operations and reportingCollaborate with senior leadership and global privacy teams Requirements:Strong knowledge of GDPR, UK GDPR, and other regional data protection lawsExperience managing privacy programs, within financial servicesProficiency in privacy tools (e.g., OneTrust)Relevant qualifications (e.g., CIPP/E, CIPM or equivalent)Confidence engaging and working with senior stakeholders

Job Title: Senior Compliance Monitoring Officer Location: London, UK (Hybrid)The Opportunity A leading global financial services firm is looking for a Senior Compliance Monitoring Officer to join its growing compliance function in London. This is a great opportunity to take ownership of high-impact compliance reviews and contribute to a strong culture of regulatory excellence. Key ResponsibilitiesDeliver thematic and periodic compliance monitoring reviewsDocument findings clearly and communicate results to senior stakeholdersTrack remediation and support continuous improvement effortsContribute to compliance risk assessments and monitoring plansAssist in developing compliance policies and frameworksCollaborate with global compliance teams on best practicesWhat You Bring5+ years in compliance monitoring, or financial services complianceStrong knowledge of FCA rules, MiFID, SMCR, Consumer Duty, UCITS, and market abuse regulationsExcellent communication, analytical, and stakeholder management skills

Senior Compliance Manager (Investments) Location: London (Hybrid – 2 to 3 days in the office) We are hiring on behalf of a fast-growing fintech that is transforming how people save, invest, and plan for their financial future. As the business continues to expand its investment offering, they are seeking a Senior Compliance Manager (Investments) to play a key role in ensuring strong, customer-focused compliance across their products.This is an excellent opportunity to step into a senior position within a progressive and collaborative Risk & Compliance function. You will help shape investment oversight frameworks, provide expert regulatory guidance, and contribute to building a best-in-class compliance culture. What you’ll be doingLead the development of a proportionate investment oversight framework and provide regulatory advice to support the delivery of compliant, customer-focused investment productsOversee investment services from a second line perspective and manage key relationships with internal teams and external partners, such as asset managersDrive regulatory change initiatives, maintain compliance policies, and advise on high-risk promotions and complex customer scenariosContribute to broader compliance and governance projects while staying on top of relevant regulatory developmentsWhat we’re looking forIn-depth knowledge of UK investment product regulations, including MiFID and CASSExperience overseeing retail investment products, including periodic reviews and governance frameworksProven ability to provide compliance advice within a retail investment environmentIdeally, experience in setting up or maintaining fund oversight and governance structuresAbility to work independently, with sound judgement and a methodical, analytical approach